Help with Internal Audit Findings

M

Muhd Firdaus

Hello,

We have conducted Internal Audit recently in our Company. We are ISO9001
certified company. During the audit,we have found several new findings and
unable to relate it to ISO9001 clauses. This is because we are new to
internal audit. Below are our findings and hope anyone here can help us
to find the suitable clauses.

Finding 1

During Internal Audit with Store Department,we have found that one record has not been kept in the Department. According to Store Dept Procedure, Forklift Maintenance Checklist should be kept by Storekeeper. However ,it has been kept by Maintenance department for so long and not by Storekeeper. Please advice us,which is the suitable clause that can be
related to this finding.

Finding 2

During Internal audit with Production,we have found that the internal procedure stated that for any urgent delivery ,Engineering Dept has to indicate"PRODUCTION URGENT" in document A before issuing it to production so production can continue with the job. However ,we have noted that this has not been practise in real situation. There is no indication for urgent delivery in the document A eventhough the internal procedure required to do so.

Finding 3

We have found that the wording " Line Specialist" is used in one of production document. There is no such position in our company and we feel that we need to remove it from the document. Please advice which clause that can be related to this finding in ISO9001.

Finding 4

After a repairing of a machine, the machine owner does not
verify and place his signature in " Verify by " column. According to procedure, after completion of each repairing,the process owner need to check the condition after repair and if ok,he should sign in the "Verify By " COLUMN. However, this does not happened and the document was not sign by the process owner even after one week of completion of the task


Hope your support as to help me which clause from iso9001 than i can use for each of the issue as above
 

somashekar

Leader
Admin
Re: Need help on Internal Audit Findings

Hope your support as to help me which clause from iso9001 than i can use for each of the issue as above
Yes we can, but why bother which clause of ISO9001.
You need to address the finding and see what can be corrected / corrective action put in place.
F1: Are the records maintained adequately wherever? At which location is this record more often needed to be looked into. Decide and maintain it there.
F2: Were the urgent deliveries nevertheless met? Who would best know about urgent deliveries. What is the method of your customer related process communication?
F3: Clean up your document if you so feel there is an error.
F4: Does your process owners check and is sure it is OK and performing the way it has to? Are there any gaps in understanding between the group who maintain and deliver to process owner / machine owner? Does the process owner need the due time to be sure before the signoff? Are the expectations different... ?
Investigate why signoff does not happen?
 
M

Muhd Firdaus

Re: Need help on Internal Audit Findings

Thank you for your feedback,

I am agree with your explanation. The only thing that bothering meq right now is that I am required to identify the correct clauses and adress it to the process owner. Also ,some of the findings will be issued out as NCR to respective department very soon and I need to state it very clearly in the iso elements column in the NCR form.Please help me to identify suitable clauses that I can relate to each of the findings.Appreciate your support
 

somashekar

Leader
Admin
Re: Need help on Internal Audit Findings

When you can get some time, make changes in your NCR form by removing the "ISO element".
Knowing the ISO element or clause does not make the process owner or you any richer to address the finding.
 
D

db

Re: Need help on Internal Audit Findings

Thank you for your feedback,

I am agree with your explanation. The only thing that bothering meq right now is that I am required to identify the correct clauses and adress it to the process owner. Also ,some of the findings will be issued out as NCR to respective department very soon and I need to state it very clearly in the iso elements column in the NCR form.Please help me to identify suitable clauses that I can relate to each of the findings.Appreciate your support

What I do is to list the requirement. For example. in your first scenario you claim the "Forklift Maintenance Checklist should be kept by Storekeeper. However ,it has been kept by Maintenance". You will not find this requirement in ISO 9001. Instead, you will find it in the Store Department Procedure. For the sake of clarity, let's say that it shows up in paragraph 2.1. Your audit report would say something like this:


Requirement: Store Department Procedure, paragraph 2.1.

Next, you would actually quote the "shall"

"The Forklift Maintenance Checklist is maintained and stored by the Storekeeper."

Now, the auditee knows what the requirement is and where it comes from.

Then, you list the evidence:

During the audit it was noted that the checklists are being maintained by the Maintenance Department.

The violation is against your own documentation, not the standard. By referencing that documentation, the person responsible for the corrective action will have a much better idea of how to address the problem.

In this case, they can either change the procedure (if having the Maintenance Department maintain the records make more sense), or they can change behavior and have the Storekeeper maintain the records.

Hope that is not too confusing.
 

Big Jim

Admin
Hello,

We have conducted Internal Audit recently in our Company. We are ISO9001
certified company. During the audit,we have found several new findings and
unable to relate it to ISO9001 clauses. This is because we are new to
internal audit. Below are our findings and hope anyone here can help us
to find the suitable clauses. <snip>
Here is my take on your concerns.

Finding 1
Cite 6.3 Infrastructure AND your companies procedure where the detail is given that this record is required and on how to control that record. Note that ISO 9001 does not require that you keep maintenance records, but if your internal procedure requires it, then you must. You might also include 4.2.4, Control of Records, since you have imposed this requirement on yourself for maintenance records. 4.2.4 says that you must control records and provides some information about that control, but does not prohibit what you found. Your procedure, providing more detail, does show how you will do it, and you did not.

ISO 9001 is not prescriptive, that is, it tells you the requirements, but does not tell you how to do it. The violation here is that you didn't do it the way you said you would.

Finding 2
Cite 7.5.1 Control of Production AND your procedure that provides detail about "urgent release".

The logic is essentially the same as above.

Finding 3
Cite 5.5.1 Responsibility and Authority.

Finding 4
Unless there is an internal requirement to sign the record, there is no nonconformance here. If there is an internal requirement to keep maintenance records and to sign off that the work has been verified, then it would be against 6.3 Infrastructure AND the procedure that adds that requirement.
 
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